P••••• E••• S••••••

• C•••••••• G••••• M•••••• I••• BD affiliated current
  since Jun 20, 2017 · Stamford, Ct
• L•• F•••••••• L•• BD affiliated
  Nov 5, 2014 to Jul 13, 2016 · Westlake Village, Ca
• H••• S••••••••• •••• I••• BD affiliated
  Aug 6, 2008 to Nov 20, 2014 · Santa Monica, Ca
• C•••••••• G••••• M•••••• I••• BD affiliated
  Sep 13, 2007 to Jul 24, 2008 · West Lake Village, Ca
• C•••• I••••••••• S••••••• C•••• former
  Apr 25, 2005 to Jul 5, 2006 · Pomona, Ny

• L•• F•••••••• L•• to C•••••••• G••••• M•••••• I•••
  left Jul 13, 2016, registered Jun 20, 2017 (342 days) · Other
• H••• S••••••••• •••• I••• to L•• F•••••••• L••
  left Nov 20, 2014, registered Nov 5, 2014 (-15 days) · Other
• C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••
  left Jul 24, 2008, registered Aug 6, 2008 (13 days) · Other
• C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••
  left Jul 5, 2006, registered Sep 13, 2007 (435 days) · Other

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Broker-dealer affiliated wealth managerderived

Years in industry

42derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address